SEC Form 4 · accession 0001127602-15-028878
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Grady L Crosby
Officer — VP Pub Affairs, Chief Div Ofcr
Period of report
Oct 7, 2015
Accepted (ET)
Oct 8, 2015 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000053669
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 7, 2015 | A | 1,595 | $0.00 | A | 5,757 | D | |
| Common Stock | Oct 7, 2015 | A | 4,787 | $0.00 | A | 10,544 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $43.86 | Oct 7, 2015 | A | 5,323 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 5,323 | 5,323 | D |
| Employee Stock Option (Right to Buy) | $28.54 | holding | — | — | — | Oct 7, 2013 | Oct 7, 2021 | Common Stock | 3,400 | 3,400 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 10,200 | 10,200 | D |
| Employee Stock Option (Right to Buy)F2 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 4,375 | 4,375 | D |
Explanation of responses
- F1The balance includes 46.074 shares acquired via the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last filing. The acquisitions are exempt from Section 16. The balance also includes 66.980 shares acquired via dividend reinvestment on January 5, April 2, July 2, and October 2, 2015 at prices ranging from $42.33 to $50.16 per share.
- F2Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date.